Jeremiah Shepard
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeremiah Shepard, who also goes by Jeremiah Brian Shepard, was a registered financial professional .
Jeremiah is a previously registered financial professional and started their career in finance in 2007. Jeremiah had worked at 5 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2012 - July 21, 2015
CREDIT SUISSE SECURITIES (USA) LLC
June 27, 2012 - November 5, 2012
THINKEQUITY LLC
October 6, 2010 - October 10, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 2009 - September 23, 2010
WEDBUSH SECURITIES INC.
June 11, 2007 - May 21, 2008
PACIFIC GROWTH EQUITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 336 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
